Compliance Director - Republic of Ireland

Refinitiv Ireland Limited (Dublin, Ireland) 19 days ago
Role Summary

You'll be providing first class regulatory guidance and advice to ensure that our regulated activities operated from the Republic of Ireland are conducted in compliance with regulatory expectations. The role predominantly interacts with the Refinitiv Trading Business with primary responsibility for managing the relationship with the Central Bank of Ireland and for ensuring that the Irish legal entity Financial and Risk Transaction Services Ireland Limited (“FRTSIL”) meets its regulatory requirement and obligations. FRSTIL is Refinitiv’s European Multiple Lateral Trading Facility (“MTF”) which offers clients access to this world-class award-winning FX MTF.

You will also be the PCF-15 Head of Compliance with responsibility for Anti-Money Laundering and Counter Terrorist Financing Legislation which is subject to approval by the Central Bank of Ireland under its Fitness and Probity regime. We're also looking for someone to enhance our compliance framework by introducing approaches to increase efficiency and effectiveness.

Key Responsibilities

This list is non-exhaustive and other duties may be added from time to time:

  • Acting as the main point of contact for regulatory and compliance matters relating to the Refinitiv Transactions Business; including operating the multilateral trading facility.
  • Providing guidance and advice to Board Members, including Independent Non-Executive Directors, and the Company Secretary on regulatory matters.
  • Responsibility for support and guidance on specific Republic of Ireland financial crime laws and regulations and acting as FRTSIL’s Money Laundering Reporting Officer (“MLRO”), liaising with Refinitiv’s Group Money Laundering Reporting Officer on the global financial crime prevention program.
  • Manage the Republic of Ireland compliance team consisting currently of four direct reports (three AML/KYC specialists and one Monitoring & Surveillance specialist).
  • Responsibility for developing, implementing and maintaining the Compliance programme for FRTSIL.
  • Being the lead and managing the regulatory relationships with the Central Bank of Ireland, and any other regulators that may be required.
  • Working closely with the broader Trading business global compliance teams to ensure holistic delivery of compliance framework and solutions, including regulatory record keeping, across all jurisdictions and legal entities.
  • Developing, maintaining and strengthening the relationship between compliance and the business by providing timely and effective advice and developing the communication channels to ensure a two-way flow of information.
  • Advancing promptly any significant regulatory or operational risks identified to the Refinitiv Chief Compliance Officer and the Board of Directors, Executive Committee and/or Risk Committee as appropriate.
  • Providing routine reports and regulatory updates to the Board of Directors.
  • Preparing compliance regulatory updates for the Board Meetings and assisting with any Risk Committee matters.
  • Assisting and supporting the Refinitiv global compliance team on Regulatory Special Projects with identifying, assessing and implementing EU (MIFID related) and Irish regulatory change.
  • Developing, maintaining and updating relevant FRTSIL regulatory policies, processes and procedures. Advising the business with all aspects of these policies, processes and procedures.
  • Ensuring regulatory obligations, such as standard, frequent and ad hoc regulating filings and reporting to the Central Bank of Ireland, are made in a correct and timely fashion.
  • Leading all aspects of the planning and preparation of regulatory, internal and external audits reviewing and approving documentation gathered to respond to audit and regulatory enquiries.
  • Collaborating closely with the Compliance Officer – Compliance Monitoring Program with second line of defense reviews and supporting the business with remediation work required.
  • Developing, implementing and conducting compliance training programmes. Reviewing and updating existing programmes for improvements and updates needed due to revisions in laws and regulations.
  • Working closely with the business to develop pragmatic solutions/opportunities while remaining cognizant of regulatory rules, obligations and expectations.
  • Working seamlessly and in partnership with other members of global Legal and Compliance team, fostering on a collegiate and effective partnership.
  • Leveraging and partnering with other colleagues within Refinitiv, which include and are not limited to, Chief Risk officer, Refinitiv’s Privacy office, Anti-Trust GC, Prudential Risk, and Government Affairs and Industry teams globally on regulatory policy matters.
Ideal Qualifications and Experience

Technical Knowledge:

  • Detailed knowledge and understanding of regulated activity, in particular Irish and EU regulatory framework.
  • Significant Financial Crime knowledge and experience.
  • Knowledge of regulations / market practice in other jurisdictions, such as US, and Asia would be desirable, for example, in relation to outsourcing, market abuse, wholesale conduct, etc.
Skills:
  • Being a strong team player is essential
  • Strong organisational skills to manage a dynamic, constantly evolving workflow
  • Experience within an Exchange, trading venue, investment bank or a regulated financial institution or experience gained at one of our primary regulators would be desirable.
  • Knowledge of trading systems, in particular, the technical aspects of Exchanges, Trading platforms, order management or execution management systems and associated products used as benchmarks.
  • Ability to influence decision making and practical implementation of regulatory strategies and practices.
  • Ability to negotiate and resolve issues with meaningful solutions both internally and externally.
  • Ability to interact with individuals from all levels of the business and relevant external stakeholders
  • Excellent presentations and communication (both written and verbal) skills.
  • Excellent problem solving skills and analytical skills.
  • Ability to work on own initiative.
  • Demonstrated success working in a highly collaborative, global environment, with a track record of accomplishment with measurable business impact.
  • Excellent project management skills including successful leadership of projects from their inception through to completion.
  • Accomplished at working across borders in a culturally diverse organization.

We care about benefits too.

We support our colleagues’ wellbeing with inclusive benefits. So that's support for physical, financial, mental and environmental health, paid time off to volunteer, consumer discounts & savings and so much more. All of which are tailored to your needs and may vary by location. For more details talk to your recruiter.

As a global business, Refinitiv relies on diversity of culture and thought to deliver on our goals. Therefore we seek hardworking, qualified employees in all our operations around the world−regardless of race, color, sex/gender, including pregnancy, gender identity and expression, national origin, religion, sexual orientation, disability, age, marital status, citizen status, veteran status, or any other protected classification under country or local law. Refinitiv is proud to be an Equal Employment Opportunity/Affirmative Action Employer providing a drug-free workplace.

Refinitiv makes reasonable accommodations for applicants and employees with disabilities. If an accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact us to request an accommodation. A full list of our office locations and contact information can be found at: Refinitiv Office Locations.

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Compliance Director - Republic of Ireland

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